Sunday, September 7, 2014

Senior Compliance Analyst

Compliance Search - Dallas
A global alternative credit manager firm seeks a Senior Compliance Analyst
who will be responsible for working with several different entities and
with various levels of the organization.
The Candidate will be supporting the compliance functions of the firm
*s Broker-Dealer (B/D) and retail Registered Investment Advisor
*s (RIAs), however he or she will also provide support to the firm
*s institutional RIAs and Funds.
The responsibilities will include:
* Review and approve marketing materials including mutual fund and
institutional materials
* Review registered representative emails and follow up on any potential
* Help maintain, revise and review the firm
*s compliance procedures
* Perform compliance testing and assist with the preparation of the annual
reviews for both the broker-dealers and RIAs
* Assist in responding to regulatory inquiries
* Make required regulatory filings (U4, U5, BD, BR, ADV, Form 3, etc.)
* Assist with compliance training and CE requirements
* Ad hoc projects
* Keep abreast of, analyze, and understand regulatory requirements and
compliance procedures.
* Must have a minimum of 3-5 years of regulatory or compliance experience
* Extensive knowledge of FINRA Rules a must, prefer a candidate with
additional knowledge of Investment Company and Investment Advisers Acts
* Series 7, 24 and 63 licenses required
* Strong analytical and problem solving skills
* The ability to manage multiple projects efficiently
* Excellent organizational, interpersonal, writing and presentation skills
* The firm offers a competitive base salary and discretionary bonus based
on performance

To apply please submit resume to